Office of State Ethics action as result of audit

(a) The primary goal of any audit by the Office of State Ethics is to ensure compliance with the Codes of Ethics. To that end, the Office of State Ethics will take no formal action, as the result of an audit, against a registrant for negligent failure to comply with the law, provided that the registrant takes the necessary corrective action. When a review of a registrant's records reveals an intentional or grossly negligent failure to comply with the law, however, or when the registrant fails to take the corrective action required as a result of the audit, the Office of State Ethics may file a complaint pursuant to section 1-93 of the Connecticut General Statutes. Any Office of State Ethics evaluation, investigation or complaint proceeding initiated as the result of an audit shall not be made a part of the final audit report, but shall instead remain confidential under section 1-93(a) of the Connecticut General Statutes.

(b) Notwithstanding subsection (a) of this section, the fact that a registrant may be under audit shall not relieve the registrant from liability if a separate action is filed or pending against the registrant with respect to the registrant's conduct during the audit period. (Effective June 16, 1993; Amended January 2, 2008; Amended June 24, 2009; Amended May 11, 2023 )